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The role:
This role will work closely with the Fair & Responsible Banking Officer to manage SoFi’s 2nd line Complaints Oversight program (the “Program”). As a subject matter expert, this role will consult on Complaint Management and regulatory risks, controls, issues and governance across the enterprise; educate business and other compliance partners on Complaint Management expectations; oversee execution of the Complaint Monitoring Plan; and develop and deliver Complaint Oversight Program updates to senior leadership and applicable Committees.
What you’ll do:
Develop, maintain, and enhance Complaint Management policies, standard operating procedures (SOPs), and guidance documents, as needed, to integrate expectations of the Program into Business Unit’s day-to-day activities
Execute effective governance and oversight of complaint management risk, as engaged by Compliance partners, including review of 1st line complaint handling procedures, review of complaint handling training materials, and monitoring of complaints for adherence to Policy requirements, and potential non-compliance with regulatory requirements
Provide subject matter expertise, support and leadership to Compliance partners, Business Unit managers, Independent Compliance Testing, and Audit with regard to complaint-related issues and remediations
Provide oversight and challenge of 1st line’s adherence to Program requirements and recommendations for improvement
Support the Fair & Responsible Banking Officer in gathering artifacts, reviewing and/or drafting responses for complaint-related regulatory examinations and audits, as needed
Oversee and/or execute special projects as assigned
What you’ll need:
Possess and maintain superior knowledge of compliance laws and regulations including UDAAP and other applicable consumer compliance regulations
Ten (10) plus years of compliance or risk experience at large regional financial institutions with at least seven (7) in a people leader role and at least five (5) focused on complaints oversight
Applied experience in execution of complaint monitoring
Excellent verbal and written communication skills including testing and monitoring reports and exam and audit responses
Substantial broad-based knowledge and experience in applying laws and regulations, designing, managing and overseeing compliance programs, and processes and handling regulatory matters
Ability to manage implementation of regulatory requirements with assigned business units
Strong analytical skills
Last updated: 23 hours ago
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